Securities Archive » November, 2021

Securities - November, 2021

340 articles

• 'God's Tigress': Feds Query Holmes On Balwani 'Love' Texts
• Ackman SPAC Can't Lean On SEC To Beat Suit, Investor Says
• LATAM's Ch. 11 Plan Disappoints Creditors Committee
• Fried Frank Nabs A Top Manhattan Prosecutor
• Grayscale Calls SEC's Rejection Of Bitcoin ETFs Unfair
• Fed's Powell Says He Won't Sideline Supervision Vice Chair
• T-Mobile Investor Sues Over Massive Data Breach
• BNY Mellon Gets Self-Dealing Class Action Trimmed
• Texas Panel Probes Basis For $22M Legal Malpractice Award
• Drilling Co. Denies Alleged Breach Of Chancery Settlement
• Universal Health Slams 'Audacious' Fee Bid In Investor Suit
• Chancery Rejects Vista Equity Motion To Exit Mindbody Suit
• Embattled Sequential Brands Escapes Fine In Deal With SEC
• Seward & Kissel Hires Ex-Practus Atty For Investment Group
• Chatham Ups Bid For RR Donnelley To $10.25 A Share
• Judge Says Attys For Biotech Whistleblower Should Get $6M
• Ex-OSI Controller Gets 3 Years For Insider Trading Conviction
• SEC's Proxy Voting Proposal Could Shake Up Private Funds
• Pot Biz Investors Win $2.1M Over Failed Mass. Venture
• Without Leadership Buy-In, Law Firm DEI Efforts Stand To Fail
• Holmes Says Ex-Theranos Exec Controlled And Abused Her
• Pot-Focused Co. Greenrose Closes Theraplant Acquisition
• JPMorgan Can't Get Quick OK For $60M Spoofing Deal
• Chancery Nixes New Doc Demands In McDonald's Exec Suit
• Facebook Shareholder Can't Appeal Chancery Court Stay
• Exxon Looks To Dodge Permian Basin Class Action
• 5th Circ. Asked To Rethink SEC Win In Test Of Liu Decision
• What 2021 Enforcement Results Say About SEC's Agenda
• Best Practices In Preparation For FCPA Enforcement Surge
• Judge Tosses PPP Class Action Against Nonbank Lender
• SEC Issues Guidance On 'Spring-Loaded' Executive Comp
• Former FINRA Market Regulation Chief Joins Sidley Austin
• Confronting Origination Credit: Self-Advocacy Tips For Attys
• Icahn Seeks TRO In Del. For Southwest Gas Stock Sale Plan
• RR Donnelley Acknowledges Chatham Bid Against Atlas
• Mattel, Investors Cut $98M Deal To End Tax Misstatement Row
• Bondholders Target Citgo Over $118M Venezuelan Debt
• 1st Circ. OKs Tossing Investment Analyst's Defamation Suit
• Chancery Tosses Wayfair Stockholders' $535M Note Sale Suit
• Pa. Suspends Atty Investigated By SEC For Crypto Fraud
• 2 Firms Want To Lead, Combine XL Fleet Merger Suits In Del.
• Senator Probes Stablecoin Issuers Over Investor, Market Risk
• As Climate Litigation Heats Up, More Cos. Face Liability Risk
• AXA, Attys End Dispute Over Investor Fraud Suit Coverage
• SEC's Alleging An Asset Is A Security Does Not Make It So
• A Real-World Guide To Staying Discovery In Federal Court
• Ex-Cozen Atty Ends SEC Insider Trading Claim With $20K Deal
• Bitcoin Trial Jurors Mull Claims 'Inventor' Stole, Hid Assets
• Olympic Skater Seeks To Ice Claim Of Fraudulent Token Sales
• NY High Court Sides With JP Morgan In $140M Insurance Suit
• Allergan Investors' Attys Claim $30.9M Of Price-Fixing Deal
• SDNY Judge Leans Toward Split BitMEX Trials
• Refiner Can Pay Lower Retention In Securities Coverage Suit
• Financial Co. Sues For Coverage In Investment Advising Case
• Mining Investor Goes After 'Sham' Co. After $3M Investment
• Dream Industrial REIT Prices $197M Worth Of Green Notes
• Surgery Partners Gets $45M In Settlement With HIG, Bain
• Wash. Judge Says Co. In EB-5 Fraud Suit Needs Supervision
• SEC Warning To Crypto Attys Harkens To Prior Crackdowns
• PetroSaudi Fights US Bid For Protective Order
• ExOne Investors Sue In Del. Over Desktop Metal Inc. Merger
• Odebrecht Laundering Suspect Can't Shake Flight Risk Status
• Int'l Securities Org. Urges Oversight Of ESG Ratings Providers
• ​​​​​​​Meta Investors Sue Over Alleged Mental Health Concerns
• Tinder Founder Says Ex-Match CEO Strong-Armed Him At Trial
• Bitcoin 'Inventor' Takes Stand Once More At Close Of Trial
• Ex-Sterne Agee Analyst Banned From Trading Securities
• FirstEnergy Allowed To Oppose Vacated Class Certification
• 2nd Circ. Madoff Ruling Is A Win For Asset Recovery Trustees
• 3 Firms Will Lead Consolidated Mattel Suit In Chancery
• Takeaways And Next Steps After FSOC's Climate Risk Report
• A Software Primer For Attorneys After Cyber Executive Order
• Cooley-Led Crypto Biz MoonPay Blasts Off With $555M Series A
• 3 Cases Could Influence Electric Vehicle SPAC Litigation
• Herrick Feinstein Guides $105M Manhattan Real Estate Loan
• Convicted Illumina Insider Trader Loses $4.5M Forfeiture Fight
• Biden Sticks With Powell For Second Term As Fed Chair
• Exec Says He Caught Heat For Saying Tinder Was Shipshape
• Bitcoin 'Inventor' Brings In Autism Expert To Help Defense
• Cannabis Co. Escapes Obstinate Investor's Chancery Suit
• Pomerantz Chases Its Own Archegos Litigation Against Banks
• FinCEN Urges Banks To Help Spot Environmental Crimes
• Atty Accuses SEC Of Defaming Client In Insider Trading Case
• Movie Producer Owes SEC $5M For Pot Investment Scheme
• SEC Floats Increased Reporting For Securities Lending
• Chinese Investors Win $37M In Fla. Hotel EB-5 Row
• Surge In Tips To SEC Exposes Gaps In Internal Reporting
• Congress Adds Fuel To SEC's Ambitions To Regulate SPACs
• Investors Bancorp Faces Merger Suit As $3.5B Deal Wins Vote
• ​​​​​​​Attys Reap $7M From Deal Over Conagra Unit Purchase
• How To Draft Earnouts That Avoid Post-Closing Disputes
• SEC Fines McKinsey Unit $18M Over Insider Info Policies
• Pomerantz, Block & Leviton To Lead Nikola Investor Class
• Boston Scientific Investors Told To Get To Heart Of Stock Suit
• Israeli Banker In Insider Trading Ring Gets 2.5 Years
• Southwest Gas Investor Seeks Info Over Spurned $4.4B Offer
• 2 Firms Get $4.6M For Bank Merger Suit Deal In Chancery
• SEC Accuses NJ Trader Of $5.8M Market Manipulation Scheme
• Attys In WWE Shareholder Suit Ink Deal To Get $3.65M
• Auto Cos. Must Prep For State AG Action On Fuel Efficiency
• Sorrento Escapes COVID-19 Investor Class Action
• 5 Critical Steps For Ensuring ESG Transparency
• Fortune Writer Claims Holmes Duped Him As DOJ Wraps Case
• SEC Says Fraudster Raised $3.6M In Crypto Investing Ploys
• SEC Says Fines Surged, Disgorgement Plunged In FY 2021
• Ameritrade Stockholders Fight For Del. Suit Against Schwab
• Biden OCC Pick Takes Hits From Both Sides In Senate Hearing
• Sen. Warren Urges Probe Of Trump's SPAC Merger Plans
• Reps. Push To Amend Crypto Reporting In Infrastructure Law
• Robinhood MDL Gets Its Antitrust Wing Clipped By Fla. Judge
• Texas Woman Pleads Guilty To Adoption Bribery Scheme
• M&A Rulings Provide Guidance On 'Bump-Up' Claim Coverage
• SEC Gets Partial Win In Investor Whistleblower Protection Suit
• Did Trump's SPAC Violate Federal Securities Law?
• 3 Firms Vie For Lead Role In Honest Co. Investor Suits
• House Panel Advances Judicial Stock Disclosure Bill
• Facing GOP Heat, Biden OCC Pick To Praise 'American Dream'
• SEC Faces Challenge To Extended Disgorgement Shot Clock
• Lawmakers Hear Calls For Increased Stablecoin Regulation
• Fed Governor Opposes Restricting Stablecoins To Banks
• Zillow Hit With Investor Suit Over COVID Home-Buying Spree
• Navient To Pay $42.5M To End Investor Suits In Del., NJ
• SEC Approves Universal Proxy, Seeks To Ease Regs On Firms
• Hard Drives In Bitcoin Trial Are Inaccessible, Jury Told
• $600K For Atty Fees Awarded In Pot Co. Investor Settlement
• Stockholders Sue To Preserve $62M Award In Delaware
• Heed These Rules, Or Risk Your Argument On Appeal
• SEC Cases Against Public Cos. Fell Again In FY21
• Early ESG Due Diligence Can Minimize Risk, Maximize Reward
• Cryptocurrency Buyers Say Blockchain Biz Cut Them Out
• 11th Circ. Judge Says Fed Law May Bar Investor's Class Case
• Convicted Insider Trader Must Disclose Atty Communications
• Investors Gave Theranos $96M Despite Due Diligence Gaps
• Ill. Man Admits Aiding Rabbi's Health Investment Fraud
• Feds Look To Freeze Award Over PetroSaudi Fraud
• SEC's Roisman Wary Of Playing Into 'Gamification' Fears
• Bitcoin 'Inventor' Scolded For Online Comments During Trial
• Ripple Labs Wants Smaller Role For SEC In Crypto Oversight
• Calif. Man Sentenced To 8 Years For $5.7M Laptop Scheme
• Fed Orders China's ICBC To Revamp NY Branch Risk Function
• Medical Device Co. To Pay $10M To End Suit Over Stock Drop
• SEC Panel Urged To Boost Rural Access To Capital Raising
• Chinese Fintech Co. Investors Want $7.5M Deal Approved
• Cos. Must Brace For Financial Regs On Climate-Related Risk
• Investors Get Final OK For $27M Deal Over Conagra Unit Buy
• What To Include In Orders Governing Remote Arbitration
• Foley Hoag Pulls In Ex-SDNY Fraud Chief From Baker Botts
• Theranos Investor FOMO Is Due Diligence Lesson, Attys Say
• Chicago Atty Sues Firm He Founded Over Shares Buyout
• Chatham Challenges $2.1B RRD Deal With New Bid, Lawsuit
• Theranos Investor Emailed Prosecutors During Trial, Jury Told
• JPMorgan Says Tesla Owes $162M For 2018 Go-Private Tweet
• NYC Investment Firm Manager Accused Of Securities Fraud
• Diller Denies He Lowballed Tinder's Value, Threatened Anyone
• GOP Reps. Say 'Digital Dollar' Must Serve US Interests
• SEC's 2021 Tipster Awards Topped All Prior Years Combined
• Oil Executive Gets 3 Years In Revenue-Pumping Scheme
• 2 Fla. Men Charged In $12M Property-Flipping Fraud
• Goldman Investors Seek Cert In 1MDB Fraud Scandal Suit
• Investors Urge 4th Circ. To Revive Marriott Data Breach Suit
• Tequila Startup Owner Admits $1M Investor Scam
• Embracing ESG: CBRE GC Talks Effective Compliance Emails
• Qualcomm Dodges Investor's Suit Over Board Diversity
• Paradigm Launches Blockbuster $2.5B Cryptocurrency Fund
• Mayer Brown DC Office Grabs Simpson Securities Expert
• Former SEC Senior Counsel Jumps To Debevoise & Plimpton
• Ohio AG Hits Facebook With Fraud Suit Tied To Whistleblower
• Robbins Geller To Lead DraftKings Investor Class Action
• Ginkgo Says Milbank Probe Rebuts Short-Seller's Fraud Claim
• A-Rod Avoids Trial On Ex-Brother-In-Law's Real Estate Suit
• Damages Claims Against A-Rod Trimmed Ahead Of Trial
• GEO Group Execs Lied About Bank Ties, Shareholder Says
• Barclays, Others OK $50M Deal To End Gold Price-Fixing Suit
• SEC Seeks To Enforce Contested Subpoenas Against DeFi Biz
• Snapchat Hid Apple Privacy Changes' Ad Effect, Investors Say
• Customers Sue Robinhood Over Data Security Breach
• Golden Nugget $1.56B Sale To DraftKings 'Unfair,' Suit Says
• Convicted Illumina Insider Trader Fights $4.5M Forfeiture
• Global ESG Disclosure Standardization Efforts Show Promise
• KKR Investor Wants Records To Probe $560M Insider Payout
• SEC Policy Easing Investor Proposals Could Spark Pushback
• SEC Rejects VanEck ETF Investing Directly In Bitcoin
• Ex-JPMorgan VP Says She Was Fired For Spotting Red Flags
• The Hazards Of Female Lawyers Being 'Office Moms'
• Wynn's $3.2B SPAC Deal For Online Gambling Biz Called Off
• Insurer Wants Ozy Media Policy Voided Over Impersonation
• Chancery Roasts Loews Attys In $690M Award To Investors
• Growing Role For Attorneys As 'Greenwashing' Risks Mount
• UK Bank Barred From Sharing Info On Client Charged In US
• Allianz Funds Settlement Likely Before February, Analysts Say
• Theranos Exec Threatened Investor With Litigation, Jury Told
• Crypto Industry Should Brace For Brewing Enforcement Storm
• Ex-Match CEO Corrupted Tinder Valuation, Jury Hears
• PwC, Investors Strike $14.9M Deal In Oil Co. Securities Suit
• SEC Chair Wants Transparency In Private Fund Investor Fees
• SEC Warns Advisers That Fee Failures May Constitute Fraud
• Bitcoin 'Inventor's' Online Comments Admitted In Trial
• Sen. Burr's In-Law Ordered To Testify In SEC Trading Probe
• Delaware Justices Reject Challenge To $7B USG-Knauf Merger
• SEC Halts Registration Of 'American CryptoFed' Digital Tokens
• Discovery Immunity For Draft Expert Reports Lacks Clarity
• Judge Certifies Class In FirstEnergy Ohio Bribery Scheme Suit
• Reed Smith Hires Prosecutor In Major FCPA, Crypto Cases
• Facebook Investors' Lead Class Counsel Beats Del. Challenge
• Ex-McKinsey Partner Charged With Insider Trading On Deal
• Exxon Says Mass. AG's Climate Suit Penalizes Free Speech
• 'Hostility' Cited In Straight Path Class Certification Bid
• Bitcoin 'Inventor' Accused At Trial Of Lying About Trust
• Independent Banks Led Tinder Valuation, Match Tells Jury
• Ex-Theranos Lab Chief Doubted Holmes' 'Implausible' Takes
• Ex-Deutsche Traders Want Out Of CFTC's Spoofing Claims
• Texas Outsourcing Co.'s Parent Files Ch. 11 Over $210M Debt
• Hertz Asks Court To Toss Wells Fargo's $272M Payoff Demand
• Chancery Orders GCI Liberty To Pay $9.3M In Mootness Fees
• DC Solar Owner Gets 30 Years For $1B Ponzi Scheme
• Investors Ask 2nd Circ. To Revive Offering Fraud Claims
• Investor Claims $1.2B FireEye Deal Bypassed Shareholders
• Plaintiff Attys Get $20M In CoreCivic Securities Suit
• Chancery Pauses Twitter Derivative Suit Over $3B Deal
• SEC's Crenshaw Urges DeFi Cos. To Play By Disclosure Rules
• $18M AMC Stock Fraud Deal Gets Initial OK
• Defense Tips For Navigating SEC's New Admissions Policy
• A Phased Approach To In-House Legal Tech Adoption
• Judge Awards $839K To Sellers In Theater Securities Dispute
• CanaFarma Investor Hits Embattled Execs With Civil Suit
• US Oil Agrees To Pay $2.5M Over SEC Disclosures
• NY Fines Dubai-Based Bank $100M Over Sanctions Violations
• SEC's Grewal Denies 'Regulation By Enforcement' On Crypto
• Tinder Founders Slam Match As $2.5B Trial Begins
• Chancery Denies Motion For Reargument In Facebook Suit
• Bitcoin 'Inventor' Struggles To Explain Conflicting Evidence
• Real Estate Co. Disputes Burden In Stock Dilution Defense
• Microcap Investor, Hemp Co. Blast SEC's Scalping Case
• SEC Taps Kirkland Partner As New PCAOB Chair
• Lawmakers Float Bill To Help Beef Up Retirement Saving
• Robinhood Says Hacker Stole Millions Of Customers' Info
• Federal Reserve's Quarles To Step Down By Year-End
• Confronting Origination Credit: How Firms Can Redo Policies
• Luxury Retailer To Pay $11M To Settle Securities Fraud Suit
• RR Donnelley Hit With Class Suit Claiming Poison Pill Bias
• Best Practices To Ensure DPA Compliance After Ericsson
• Justices Pass On Bid To Curb SEC Role In AML Enforcement
• 4 BigLaw Players In Elizabeth Holmes' Criminal Fraud Trial
• Boeing Board Inks $238M Deal To End 737 Max Derivative Suit
• PG&E Investors Get Final OK On $2.5M Fees For $10M Deal
• SEC OKs Audit Watchdog's Rule On Foreign Firm Inspections
• Banks Brandish Odd-Lots Win In Treasuries Antitrust Fight
• SolarWinds Hit With Del. Derivative Suit Over Sunburst Hack
• JPMorgan Sued In Del. For Docs On $920M DOJ Settlement
• Ackman's Firms Fire Back At Challenge To Legality Of SPACs
• How To Comply With ABA's New Language Access Guidance
• Atty Tells Judge He Rubber-Stamped Disbarred Lawyer's Docs
• SEC Senior Counsel Named Head Of Whistleblower Office
• 2nd Circ. Reinstates Ex-Platinum Execs' Convictions
• Navigating FCPA Risks Of Minority-Owned Joint Ventures
• Cannabis Co. Seeks $2M Fee Award For 'Bad Faith' Conduct
• Twitter Seeks Stay, Special Review Of $3B Deal Suit In Del.
• 2 Firms Will Lead Pivotal-VMware Merger Suit In Chancery
• Hedge Fund Priest Beats SEC Short-And-Distort Claims
• Holmes Cited Walgreens Deal In Rushing Investors, Jury Told
• Gun Auction Site, Financial Adviser Get Wins In ESOP Fee Suit
• IAnthus Investors Revise Pot Co. Suits To Beat Legal Hurdles
• Bitcoin 'Inventor' Tells Jury That Pal Was Too Sick To Help
• Jack In The Box Says Crypto Exchange Ripped Off Its Mascot
• Slack Seeks Full 9th Circ. Review In Direct Listing Case
• Feds Aim To Hone 1MDB Evidence At Ex-Goldman Exec's Trial
• Gas Import Terminal Giant Hit With Securities Class Action
• Why Slack Decision Struck A Nerve With Corporate America
• SEC Nabs $1.1M From Cannabis Developer In Fraud Suit
• Gensler To Attys: Don't Help Crypto Cos. Hide From The SEC
• Duo Accused Of Cannabis Investor Scam Waives Atty Conflict
• $6.5M Fee Included In Deal To End $2.6B Expedia Deal Suit
• Del. Justices Snub $1.6B Regency Sale Suit Again
• BakerHostetler Adds IPO And Securities Atty In NY
• Ex-OCC Chief Brooks Heads To Bitfury After Binance.US Exit
• Crypto Exec's Case Against SEC Shows Limits Of Admin Law
• Electric Truck Co. Nikola Earmarks $125M To Settle SEC Probe
• Judge Wants More Info Before OK'ing $27.5M Block.one Deal
• Biden Orders Nearly 300 Fed. Gov't Cyber Weaknesses Fixed
• Fecal Testing Startup Founders Can't Flush SEC Charges
• SEC Gets Default Win Against Ga. Firm In $3.3M Fraud Case
• Brother Says Emails Show Programmer Co-Invented Bitcoin
• Del. Justices Uphold Williams Cos. Poison Pill Shutdown
• SEC Guidance May Make It Harder To Block Shareholder Votes
• 3 Arrested For Fake Settlement Claims In $40M Fraud Suits
• Walgreens Must Face Trimmed Investor Stock-Drop Claims
• Lawmakers Question SEC Reluctance Over Bitcoin ETF
• How To Minimize FCA Cyber Fraud Enforcement Risk
• Trader Who Profited From Illegal Illumina Tips Gets 3 Years
• Del. Justices Challenge Shire On $45M 'Windfall' Objection
• Chancery Nixes Early Appeal Over Facebook Class Atty Pick
• Invisalign Maker's $16M Investor Deal Gets Initial Nod
• Ex-Informant Wants SEC Held In Contempt Over Suit Filing
• Willkie Creates New Office Managing Partner Post In NY
• Greenspring GC Rejoins Gibson Dunn As Partner In DC
• Best Practices For Hiring And Integrating Freelance Lawyers
• Priest Points Finger At Biotech As SEC Short Sale Trial Wraps
• UBS Hit With Forex Rigging Suit In UK
• Ex-Cravath Atty Introduced Rich Clients To Holmes, Jury Told
• Wary Justices Mull Fed. Courts' Jurisdiction Over Arb. Awards
• Sens. Pressed For Legacy Libor Fix As Litigation Risk Looms
• SIFMA Hails SEC's Decision On Audit Trail Cyber Liability
• Noble Energy Says Suit Over $13B Chevron Merger Is Flawed
• Crypto Mining-Linked Products Weren't Securities, Jury Finds
• Wells Fargo Seeks Ax Of Investors' Ponzi Scheme Suit
• Questions To Ask If Doing Business In A Corruption Hot Spot
• Illumina Says Convicted Insider Trader Broke Investors' Trust
• New DOJ Corporate Crime Approach May Deter Self-Reporting
• AMC Investors Want Initial OK For $18M Deal In Securities Suit
• US Treasury Eyeing Foreign Crypto Activity, Official Says
• 5 Post-Theranos Insights On Board Member Oversight
• Feds Trim $350M Money Laundering Case In Extradition Pact
• Neal Gerber Adds Corporate Partner In NY
• Denver-Based Former SEC Atty Rejoins Brownstein Hyatt
• Disbarred Atty Who Kept On Lawyering Fined In 'Tragic' Case
• Lieff Appeal In Overbilling Row May Be Futile, 1st Circ. Says
• Regulators Urge Congress To Act On Stablecoin Risks
• Fracking Co. Investors Want Class Cert. In Fraud Suit
• KPC, Alerus Must Face Most Claims In $227M Stock Buy Suit
• Bitcoin 'Inventor' Changed Tune After Friend Died, Jury Told
• King & Spalding Grabs Corporate Partner From Norton Rose
• OCC Warns Ex-Bank CEO's Appeal Bid Could Unleash 'Chaos'
• SDNY Crypto Ace Joins Cahill's White Collar Defense Team
• Embracing ESG: Cognizant Counsel, CSO Talk Collaboration
• Jury Clears Ex-Iconix CEO Of Conspiring To Dupe Wall Street
• BGC-Cantor Suit Highlights Independent Directorship Issue
• Chancery Tosses Chemours Stock Buyback, Dividend Suit
• Ultra Petroleum Investor Seeks Out Of Securities Suit
• Priest Urged Investors To 'Run' From Pharma Biz, Jury Hears
• Investor Sues Genetics Co. In Del. After Mystery Merger
• Cannabis Holding Co. Beats Most Of Investor's Suit
• Auditor Wants Out Of Suit Over $789M Ponzi Scheme
• Uber Investors Eye Class Cert. In Suit Over 'Train Wreck' IPO
• Ex-SEC Senior Trial Atty Jumps To Quinn Emanuel
• Herbert Smith Snags Sr. Finance Attys From Hogan Lovells
• BitMEX Bosses Can Wait To Reveal AML Trial Strategy
• As Social Impact Becomes The Test, Firms Asked To Step Up
• The 2021 Law360 Pulse Social Impact Leaders
• Social Impact Leaders: A Look At Our New Law Firm Ranking
• HSBC Escapes Currency Firm's UK Forex-Rigging Suit